Sona Asset Management (UK) LLP

• Principal Place of Business

  Second Floor, 19-21 St James's Street

  London

  SW1A 1ES

  UNITED KINGDOM

  Phone

  +442038724572

  Web

  https://www.sona-am.com

• Complaints Contact

  Second Floor, 19-21 St James's Street

  London

  SW1A 1ES

  ENGLAND

  Phone

  +4402038394668

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Private Investment Funds

• Manages Your Portfolio

  For Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Hannah Robinson

  IRN HXR00258

  • [FCA CF] Client dealing (since 29 Nov 2024)
• Henrik Jan Gustav Johnsson

  IRN HJJ00007

  • SMF27 Partner (since 10 Mar 2026)
  • SMF1 Chief Executive (since 10 Mar 2026)
• Hyeon Joon Kim

  IRN HXK00120

  • [FCA CF] Client dealing (1 Sep 2021 to 1 Mar 2025)
  • [FCA CF] Material risk taker (1 Sep 2021 to 1 Mar 2025)
• Iain Colquhoun

  IRN IXC01183

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 23 Apr 2025)
  • SMF27 Partner (9 Dec 2019 to 23 Apr 2025)
  • SMF16 Compliance Oversight (9 Dec 2019 to 23 Apr 2025)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 22 Apr 2025)
  • [FCA CF] Significant management (9 Dec 2019 to 22 Apr 2025)
  • CF10 Compliance Oversight (7 Dec 2018 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (7 Dec 2018 to 8 Dec 2019)
• JOCHEN SCHWENDERLING

  IRN JXS02651

  • [FCA CF] Client dealing (since 21 Nov 2024)
• Jacob Robin Walton

  IRN JRW01263

  • [FCA CF] Client dealing (since 9 Jan 2023)
• James Daugherty

  IRN JXD01117

  • [FCA CF] Client dealing (since 12 Dec 2025)
• James Gowing

  IRN JXG00989

  • [FCA CF] Client dealing (since 28 Apr 2025)
• James Michael Wilson

  IRN JXW42035

  • [FCA CF] Client dealing (since 6 Oct 2025)
• Jean-Baptiste Marolleau

  IRN JXM00773

  • [FCA CF] Client dealing (since 4 Apr 2022)

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